SEBI directs investment advisers not to deal with unregulated products.

SEBI has observed that certain registered investment advisers are engaging in unregulated activity by offering a platform for the purchase, sale, or trading of unregulated items, including digital gold.

SEBI amends investment grievance redressal system and arbitration mechanism.

Under the revised framework, SEBI has clarified that Forming of exclusive panel for appellate arbitration is not required and members can serve on both the panels. However, it is imperative for the exchanges to ensure …

SEBI clarifies Modalities for filing of placement memorandum through a Merchant Banker

While filing draft placement memorandum at the time of registration or prior to launch of new scheme on the SEBI intermediary portal, the due diligence certificate provided by the Merchant Banker shall also be submitted, …

SEBI clarification regarding transmission of Securities to joint Holder(s)

RTAs are advised to comply with provisions of the Companies Act 2013 and transmit securities in favour of surviving Joint holder(s), in the event of demise of one or more joint holder(s), provided that there …

Sebi issues revised formats for issuers of non-convertible securities.

The formats would be applicable for limited review reports for quarterly standalone financial results for banks and NBFCs as well as entities other than banks and NBFCs.

SEBI introduces online mechanism for obtaining SCORES credentials for companies seeking to list securities on the stock exchange.

The companies are required to attach a declaration along with the online form on the letter head of the company signed by the compliance officer.

NSE extends the timeline to submit details of Artificial Intelligence (AI) and Machine Learning (ML) applications.

NSE has extended the timeline for submitting details of Artificial Intelligence (AI) and Machine Learning (ML) applications and systems offered and used by market intermediaries till 26th October 2021.

SEBI notifies the minimum percentage of trades carried out by mutual funds through RFQ platform.

Mutual Funds are permitted to accept the Contract Note from the brokers for transactions carried out in One to One (OTO) and One to Many (OTM) modes of RFQ platform.

SEBI revises format for filing financial information by Listed entities whose non-convertible securities are listed

In case of non-submission/ delayed submission of financial results within the timelines, the listed entity shall disclose detailed reasons for such non-submission/ delay to the stock exchanges within one working day of the due date …

Amended manner and mechanism for providing exit option to dissenting unit holders of Real Estate Investment Trusts

The circular provides revised timeline for providing notice of meeting to unit holders, intimation of outcome of the unit holders’ meeting by the IM to Acquirer and stock exchange(s), creating escrow account, tendering units in …

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